Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
The White Law Group exclusively represents investors seeking to recover investment losses incurred as a result of the fraud or negligence of their financial professional or broker-dealer. We review investment fraud cases involving all FINRA registered broker-dealers and have handled cases against most of the major broker-dealers, including Morgan Stanley, Wachovia, Wells Fargo, Banc of America, Merrill Lynch, Smith Barney, UBS, Edward Jones, Raymond James, Securities America, Royal Alliance, RBC Capital and Ameriprise.
The securities cases we review often involve some form of the following type of securities fraud: unsuitability, churning (or excessive trading), unauthorized trading, failure to execute, improper use of margin, and overconcentration (holding of an inordinately large position of one investment).
We review tons of securities cases per year involving all manner and scope of securities frauds, but it seems that many of the cases that we review often involve the same general types of investment products. Interestingly, these investment products are also the same products that pay financial advisors the highest commission. The investment products that we most see being abused in reviewing securities fraud cases are cases involving REITs, variable annuities and variable universal life policies, Promissory Notes, Tenants-In-Common (TICs), and mutual funds (particularly proprietary mutual funds – when a brokerage firm pushes its own mutual funds (i.e. a UBS financial advisor recommending UBS mutual funds)).
To speak to an experienced securities attorney, please call The White Law Group at 312-238-9650. For more information on the firm, please visit our website at https://whitesecuritieslaw.com.Tags: Ameriprise, and mutual funds, Banc of America, Boca Raton securities attorney, Boca Raton securities lawyer, broker fraud, churning, Edward Jones, excessive trading, failure to execute, FINRA, improper use of margin, investment fraud, investment fraud attorney, investment fraud lawyer, investment losses, Merrill Lynch, Morgan Stanley, NASD, overconcentration, Promissory Notes, Raymond James, RBC Capital, REITs, Royal Alliance, SEC, Securities America, securities arbitration, Securities Attorney, Securities Lawyer, securities litigation, securities losses, Smith Barney, South Florida securities attorney, South Florida securities lawyer, stock fraud, stock losses, Tenants-In-Common (TICs), UBS, unauthorized trading, unsuitability, variable annuities and variable universal life policies, Wachovia, Wells Fargo Last modified: December 7, 2022